chair mary jo white public calendar, april 10, 2013 …chairmary jo white public calendar april 10,...

Chair Mary Jo White Public Calendar

April 10, 2013 to December 31, 2013

Wednesday, April 10 2013

9:00 am Oath of Office 10:00 am Open Commission Meeting 11:30 am Meeting with staff 12:30 pm Meeting with job applicant 1:30 pm Meeting with staff 2:30 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff

Thursday, April 11 2013

9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Meeting with staff 11:30 am Meeting with Commissioner Parades 12:30 pm Meeting with Commissioner Gallagher 1:40 pm Meeting with staff 2:00 pm Closed Commission Meeting 3:30 pm Meeting with staff 4:00 pm Meeting with staff

Friday, April 12 2013

9:00 am Meeting with staff 10:00 am Meeting with Commissioner Walter and staff 10:30 am Swearing‐in Ceremony 12:00 pm Meeting with Russell Golden, Chair, Financial Accounting Standards Board (FASB) 1:00 pm Meeting with staff

Monday, April 15 2013

9:30 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff

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11:15 am Phone call with staff 11:30 am Meeting with staff 12:00 pm Phone call with Jim Doty, Chairman, Public Company Accounting Oversight Board

(PCAOB) 12:45 pm Phone call with staff 1:00 pm Meeting with staff 2:00 pm Meeting with staff 3:00 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff 5:00 pm Meeting with staff 5:05 pm Phone call with Gary Gensler, Chairman, Commodity Futures Trading

Commission (CFTC) 5:45 pm Phone call with Congressman Scott Garrett

Tuesday, April 16 2013

9:00 am Meeting with staff 10:00 am Meeting with staff 10:45 am Phone call with job applicant 11:00 am Fixed Income Roundtable 11:45 am Meeting with Commissioner Aguilar 12:30 pm Meeting with staff 12:45 pm Meeting with staff 1:45 pm Meeting with staff


9:30 am Meeting with staff 10:30 am Meeting with Commissioner Gallagher 12:00 pm Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with staff 3:00 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff 5:00 pm Meeting with Commissioner Parades 6:00 pm Meeting with staff

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9:00 am Meeting with Japan Financial Services Agency: Masa Kono, Chairman; and Sonoka Imada, Assistant

10:00 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Closed Commission Meeting 3:00 pm Phone call with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff 5:00 pm Meeting with the Commodity Futures Trading Commission (CFTC): Gary Gensler,

Chairman; Eric Juzenas, Senior Counsel; and Jonathan Marcus, General Counsel 6:00 pm Meeting with staff


10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 11:30 am Meeting with Marc Morial, President, National Urban League 11:45 am Meeting with staff 1:15 pm Regulatory Roundtable with Jack Lew, Secretary, Department of the Treasury


9:00 am Meeting with staff 10:00 am Financial Stability Oversight Board (FinSOB) Principals Teleconference Meeting 11:00 am Meeting with staff 11:30 am Meeting with staff 12:14 pm Phone call with Neal Wolin, Deputy Secretary, Department of the Treasury 12:30 pm Meeting with staff 1:45 pm Meeting with staff 2:00 pm Meeting with Greg Medcraft, Chair, Australian Securities and Investment

Commission (ASIC) and Chair of the IOSCO Board 2:45 pm Meeting with staff 3:30 pm Meeting with staff


9:00 am Meeting with staff

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10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 12:30 pm Meeting with Barbara Roper, Director, Consumer Federation of America 1:00 pm Meeting with staff 1:30 pm Meeting with Commissioner Gallagher 2:00 pm Meeting with staff 3:30 pm Meeting with Congressman Spencer Bachus 5:00 pm Meeting with David Ruder, former SEC Chairman 5:30 pm Meeting with Commissioner Paredes 6:00 pm Meeting with staff


8:30 am Meeting with job applicant 9:00 am Meeting with job applicant 10:30 am Phone call with Commissioner Aguilar 11:30 am Meeting with staff 12:30 pm Meeting with staff 1:15 pm Call with job applicant 1:45 pm Meeting with Commissioner Gallagher 2:30 pm Meeting with staff 3:30 pm Meeting with Congressman Jose Serrano 4:30 pm Meeting with Congresswoman Maxine Waters 6:00 pm Meeting with staff


9:00 am Meeting with Congressman Scott Garrett 10:30 am Financial Statements Audit Entrance Conference – Meeting with the Government

Accountability Office (GAO): James Dalkin, Director, Financial Management and Assurance Unit; Michael Gilmore, Assistant Director, Information Technology; Meafelia Gusukuma, Auditor‐in‐Charge, Financial Management and Assurance Unit; Kristin Kociolek, Assistant Director, Financial Management and Assurance Unit; Ben Nakhavanit, Senior IT Audit Manager, Williams Adley; and Duc Ngo, Assistant Director, Applied Research and Methods

1:00 pm Financial Stability Oversight Council (FSOC) Principals Meeting 4:00 pm Closed Commission Meeting 5:30 pm Meeting with job applicant 6:00 pm Meeting with staff


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9:00 am Meeting with staff 9:30 am Meeting with staff 10:30 am Meeting with Congressman Ander Crenshaw 12:00 pm Lunch with Chairman Ben Bernanke, Federal Reserve 1:30 pm Meeting with job applicant 2:00 pm Meeting with staff 2:30 pm Meeting with Marcy Gordon, Reporter, AP Business 3:00 pm Meeting with Ben Protess, Reporter, The New York Times 4:00 pm Meeting with Jack Lew, Secretary, Department of the Treasury




9:00 am Meeting with staff 10:00 am Meeting with staff 10:45 am Meeting with staff 11:00 am Meeting with Commissioner Paredes 12:00 pm Meeting with job applicant 1:00 pm Meeting with staff 3:00 pm Meeting with Sir Hector Sants, Global Head Compliance and Regulatory Affairs,

Barclays 4:00 pm Meeting with staff 5:00 pm Meeting with Stephen Graham and Christine Jacobs, Co‐chairs of Advisory

Committee on Small and Emerging Companies

Wednesday, May 1 2013

9:00 am Meeting with staff 10:00 am Open Commission Meeting 12:30 pm Meeting with Duncan Niederauer, CEO, NYSE Euronext; Bob Greifeld, CEO,

NASDAQ OMX, Joseph Ratterman, CEO, BATS Trading; Eric Swanson, General Counsel, NASDAQ; and Ed Knight, General Counsel, BATS

1:30 pm Meeting with staff 2:00 pm Small Business Forum 3:45 pm Meeting with staff 4:45 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter 6:40 pm Meeting with staff

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Thursday, May 2 2013

12:00 pm Meeting with staff 12:30 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Closed Commission Meeting 4:30 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Aguilar 5:45 pm Meeting with Commissioner Gallagher

Friday, May 3 2013

8:00 am Speaking Engagement at the Investment Company Institute General Membership Meeting

10:00 am Meeting with staff 10:30 am Meeting with staff 10:45 am Meeting with staff 11:00 am Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with staff

Monday, May 6, 2013

11:30 am Meeting with Commissioner Paredes 1:00 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with job applicant

Tuesday, May 7, 2013

9:00 am Meeting with staff 10:00 am Meeting with staff 2:00 pm Hearing before the House Appropriations Subcommittee (Financial Services and

General Government) 5:15 pm Meeting with staff

Wednesday, May 8, 2013

9:00 am Meeting with staff 9:30 am Meeting with staff

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10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff 2:30 pm Meeting with staff 3:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Paredes 6:15 pm Meeting with Commissioner Walter

Thursday, May 9, 2013

9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Meeting with staff 11:30 am Meeting with staff 12:00 pm Meeting with staff 12:30 pm Meeting with Dave Michaels, Reporter, Bloomberg 1:10 pm Meeting with staff 2:00 pm Closed Commission Meeting 3:30 pm Meeting with staff 4:00 pm Meeting with Dina ElBoghdady, Reporter, Washington Post 4:30 pm Meeting with staff 5:30 pm Meeting with staff 6:00 pm Meeting with staff

Friday, May 10, 2013

9:00 am Meeting with staff 9:30 am Meeting with staff 11:00 am Meeting with staff 1:00 pm Meeting with staff

Monday, May 13, 2013

8:30 am Meeting with staff 9:00 am SRO Outreach Conference 11:00 am Teleconference meeting with Jonathan Faull, Director General, European

Commission 12:30 pm Meeting with staff 12:45 pm Meeting with staff 1:45 pm SRO Outreach Conference

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3:00 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with staff


9:00 am Credit Ratings Roundtable 10:00 am Meeting with staff 12:30 pm Meeting with Financial Accounting Foundation (FAF) Chairman and Trustees 2:30 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with Commissioner Walter and staff 6:30 pm Meeting with Commissioner Paredes


8:30 am Meeting with Representative Jeb Hensarling 9:00 am Meeting with Congresswoman Carolyn Maloney 12:00 pm Meeting with staff 2:30 pm Call with Congresswoman Terri Sewell 5:00 pm Call with Congressman Michael Grimm


10:00 am Hearing before the House Financial Services Committee 2:00 pm Closed Commission Meeting 2:30 pm Meeting with Commissioner Walter 3:30 pm Meeting with staff 4:00 pm Meeting with the Labor Management Forum


9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with Commissioner Parades 12:00 pm Meeting with Commissioner Walter 12:30 pm Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff

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10:00 am Meeting with Barbara Roper, Director, Investor Protection, Consumer Federation of America; Lisa Donner, Executive Director, Americans for Financial Reform; Brandon Rees, CIO, AFL; and Heather Slavkin Corzo, CIO, AFL

11:00 am Meeting with staff 11:30 am Meeting with staff 12:30 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Financial Stability Oversight Board Teleconference Meeting 2:30 pm Call with Chris Hopkins, Staff Writer, National Journal 3:00 pm Meeting with staff 4:00 pm Meeting with Commissioner Aguilar 4:30 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:30 am Meeting with Commissioner Aguilar 1:00 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with staff 2:30 pm Meeting with Intercontinental Exchange Group: Jeffrey Sprecher, Chairman and

CEO; Thomas Farley, COO; Christopher Edmonds, President; and Peter Roberson, Vice President of Government Relations

3:00 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:45 pm Meeting with Commissioner Gallagher 5:00 pm Meeting with Commissioner Paredes 6:30 pm Financial Accounting Foundation (FAF) Annual Board of Trustees Dinner


8:00 am Meeting with job applicant 10:00 am Meeting with staff 11:30 am Phone call with Richard Cordray, Director, Consumer Financial Protection Bureau 11:45 am Meeting with staff

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1:00 pm Veterans Affairs Committee Presentation 2:00 pm Meeting with staff 2:30 pm Meeting with James Doty, Chairman, Public Company Accounting Oversight

Board (PCAOB) 3:30 pm Meeting with staff


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with Carla Rosati, Executive Director, Historical Society; and Bruce

Bennett, President of the Board of Trustees 12:30 pm Meeting with staff 2:00 pm Closed Commission Meeting 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Aguilar


9:30 am Meeting with staff 10:00 am Meeting with Systematic Risk Council: Sheila Bair, The Pew Charitable Trust; Ira

Millstein, Senior Partner, Weil, Gotshal & Manges; and Alice Rivlin, former Vice Chairman, Federal Reserve

11:00 am Meeting with staff 11:30 am Meeting with staff 12:00 pm Meeting with staff


Memorial Day – Federal Holiday


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with J. Christopher Donahue, President and CEO, Federated Investors,

Inc.; and John W. McGonigle, Vice Chair and Chief Legal Officer

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1:00 pm Meeting with Direct Edge: William O’Brien, Chief Executive Officer; Byran Harkins, Chief Operating Officer; and Tom McManus, Chief Compliance and Regulatory Officer

2:30 pm Meeting with staff 3:00 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:45 pm Meeting with Commissioner Walter 5:30 pm Meeting with Commissioner Paredes


9:00 am Meeting with staff 10:30 am 2nd National Financial Capability Survey 12:30 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Meeting with staff 2:30 pm Meeting with staff 2:45 pm Meeting with staff 3:00 pm Meeting with staff 3:30 pm Meeting with staff 4:15 pm Meeting with staff


9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:30 am Meeting with Federal Housing Finance Agency (FHFA): Edward DeMarco,

Director; and Mario Ugoletti, Senior Advisor 12:30 pm Meeting with staff 1:00 pm Closed Commission Meeting



Monday, June 3, 2013


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11:00 am Meeting with staff 11:30 am Meeting with staff 1:00 pm Financial Stability Oversight Council (FSOC) Principals Meeting 2:00 pm Meeting at Department of the Treasury 4:00 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter 6:15 pm Meeting with Commissioner Gallagher

Tuesday, June 4, 2013

9:00 am Meeting with staff 10:00 am Meeting with staff 11:00 am Federal Housing Finance Oversight Board Meeting 1:30 pm Photo Session with Liz Lynch, Photographer, National Journal 1:45 pm Meeting with staff 2:30 pm Meeting with Senator Elizabeth Warren 4:30 pm Meeting with staff 5:30 pm Meeting with staff

Wednesday, June 5, 2013

9:00 am Meeting with staff 10:00 am Open Meeting 12:00 pm Meeting with job applicant 2:00 pm Meeting with staff 3:00 pm Meeting with Bob Moritz, US Chairman/Senior Partner, PwC 4:00 pm Meeting with staff 4:40 pm Meeting with Financial Supervisory Service: Soo Hyun Choi, Governor; Jeong Ho

Suh, Senior Advisor; Hong Sog Oh, Director General; Hankoo Lee, Chief Representative of NY Office, Won Hyung Park, Representative of DC Office

Thursday, June 6, 2013

9:00 am Meeting with staff 10:00 am Meeting with Better Markets: Dennis Kelleher, President and CEO; Stephen Hall,

Securities Specialist 11:00 am Meeting with Damon Silvers, Director of Policy & Special Counsel, AFL‐CIO 12:30 pm Meeting with staff 12:45 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Closed Commission Meeting 4:00 pm Meeting with Andrew Ackerman, Reporter, Wall Street Journal

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4:30 pm Meeting with Commissioner Aguilar 5:45 pm Meeting with staff 6:00 pm Meeting with staff

Friday, June 7, 2013

9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Phone call with staff 10:15 am Meeting with Lloyd Blankfein, Chairman and CEO, Goldman Sachs 11:15 am Phone call with Daniel Tarullo, Governor, Federal Reserve Board 12:00 pm Meeting with Martin J. Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC); and Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)

1:30 pm Meeting with staff


10:00 am Meeting with staff 11:30 am Meeting with staff 12:30 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Meeting with staff 3:00 pm Meeting with Heath Abshure, NASAA President and Arkansas Securities

Commissioner; and Russ Luculano, Executive Director, NASAA 4:00 pm Meeting with staff 4:30 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter


9:00 am Meeting with staff 10:00 am Meeting with staff 12:00 pm Meeting with Seth Harris, Acting Secretary, Department of Labor 1:00 pm Meeting with staff 2:15 pm Meeting with staff 3:15 pm Meeting with staff 4:00 pm Meeting with staff 4:15 pm Meeting with staff 4:30 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Paredes

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9:45 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with staff 1:15 pm Meeting with staff 2:00 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff 5:00 pm Meeting with Commissioner Gallagher


8:20 am Speaking Engagement at the Business Roundtable 10:30 am Meeting with staff 11:00 am Meeting with staff 11:15 am Meeting with staff 12:00 pm Meeting with Commissioner Aguilar 1:00 pm Meeting with Colleen Kelley, President, NTEU 2:00 pm Closed Commission Meeting 3:50 pm Meeting with staff 4:00 pm Meeting with staff 5:00 pm Meeting with staff


9:00 am Meeting with DTCC: Robert Druskin, Chairman; Michael Bodson, CEO; and Bari Wolfe, Regulatory Liaison

10:00 am Meeting with Institute of International Bankers: Roger A. Blissett, Chairman of the IIB and Managing Director, U.S. Strategy, RBC Capital Markets; Sarah A. Miller, Chief Executive Officer, Institute of International Bankers; Richard W. Coffman, General Counsel, Institute of International Bankers; Derek M. Bush, Partner, Cleary Gottlieb Steen & Hamilton LLP; Joseph Lawrence Seidel, Managing Director, Credit Suisse; Pererik Dyrvik, Managing Director, UBS Investment Bank; Jeffrey Samuel, Director, Barclays; Joseph J. Rice, Treasurer, Americas Deutsche Bank

11:00 am Meeting with SIFMA: Kenneth Bentsen, Jr., Acting President and CEO; Ira Hammerman, General Counsel; and Senator Judd Greg

12:00 pm Meeting with U.S. Chamber of Commerce: David Hirschmann, President and

CEO, CCMC; Amanda Eversole, Senior Vice President and Chief of Staff of

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Chamber of Commerce, and Senior Vice President, CCMC; Tom Quaadman, Vice

President, CCMC; Alice Joe, Executive Director, CCMC



9:15 am Meeting with Investment Adviser: Christine Carsman, Senior Vice President, Affiliated Managers Group; Jonathan Roberts, CFA, CIC, Senior Vice President, CCO, Klingenstein, Fields & Co., L.L.C; David Tittsworth, Executive Director, Investment Association; and Neil Simon, Vice President, Government Relations, Investment Adviser Association

10:00 am Meeting with Gary Katz, President and Chief Executive Officer; International Securities Exchange; and Michael Simon, General Counsel, Secretary and Chief Regulatory Officer

11:30 am Meeting with Senator Chuck Grassley 12:15 pm Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with FINRA: Richard Ketchum, Chairman and CEO; and Robert Colby,

Chief Legal Officer 3:00 pm Meeting with staff 3:15 pm Meeting with staff 4:00 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with TD Ameritrade: Fred Tomczyk, President and CEO; Paul Jiganti,

Managing Director, Market Structure, Customer Advocacy and Capital Markets; Ellen Kopolow, General Counsel; John Markle, Deputy General Counsel; Joel Oswald, Partner; and David Franasiak, Partner, Williams and Jensen

12:00 pm Meeting with staff 12:45 pm Meeting with Jean Eaglesham, Reporter, Wall Street Journal 2:00 pm Meeting with staff 2:30 pm Meeting with staff 3:00 pm Meeting with Commissioner Paredes 3:30 pm Meeting with staff

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4:00 pm Meeting with job applicant 5:15 pm Speaking Engagement at the Wall Street Journal CFO Network Conference


4:00 pm Phone call with staff 5:45 pm Meeting with the European Commission: Jonathan Faull, Director General; and

Patrick Pearson, Director, Financial Markets Infrastructure 7:00 pm Meeting with Japan Financial Services Agency: Masa Kono, Chairman; Toshitake

Inoue, Director of the Research Office; and Hidetaka Nishizawa, Deputy Director for International Financial Markets, Office of International Affairs

8:15 pm Dinner Meeting with the Ontario Securities Commission: Howard Wetston, Chairman; Tula Alexopoulos, Director, Office of Domestic and International Affairs; and Kevin Fine, Director, Derivatives Branch


7:30 am Meeting with Securities and Futures Commission of Hong Kong: Ashley Alder, CEO; Alexa Lam, Deputy CEO, Executive Director of Investment Products, International and China; and Guan Tan, Senior Manager, International and China

8:30 am Meeting with ODRG Principals 9:00 am Meeting of the OTC Derivatives Regulators Group Principals


9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Meeting with Managed Funds Association: Richard H. Baker, President and CEO;

Bill Goodell, Chairman; John Torell, Incoming Chairman; Adam Cooper, Chairman of Managed Funds Association’s Government Affairs Committee; and Stuart Kaswell, Executive Vice President & Managing Director, General Counsel

11:00 am Meeting with staff 2:00 pm President’s nomination announcement of new FBI Director, Jim Comey at the

White House


9:15 am Meeting with staff 10:00 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff

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4:00 pm Meeting with Senator Mike Johanns 5:15 pm Meeting with Senator Tom Udall


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 1:30 pm Meeting with Commissioner Paredes 3:00 pm Hearing before the Senate Committee on Appropriations, Subcommittee on

Financial Services and General Government


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 12:00 pm Meeting with Congressman David Schweikert 1:00 pm Meeting with Congressman and Majority Whip Kevin McCarthy 3:00 pm Meeting with staff 3:30 pm Meeting with staff 3:45 pm Meeting with staff 4:00 pm Meeting with Gary Gensler, Chairman, Commodity Futures Trading Commission

(CFTC) 5:00 pm Meeting with staff 5:30 pm Meeting with staff 6:00 pm Meeting with staff


9:00 am Meeting with staff 9:30 am Meeting with Commissioner Walter 10:30 am Meeting with GETCO: Daniel Coleman, CEO; John McCarthy, General Counsel;

Elizabeth King, Head of Regulatory Affairs; and Mitchell Feuer, Founding Principle, The Rich Feuer Group

12:30 pm Meeting with Senator Michael Bennet 2:00 pm Closed Commission Meeting 2:20 pm Phone call with Commissioner Paredes 3:30 pm Meeting with Commissioner Aguilar 3:45 pm Meeting with staff 4:30 pm Phone call with Senator Jon Tester 5:00 pm Meeting with staff 6:00 pm Meeting with staff

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9:00 am Meeting with staff 9:15 am Meeting with staff 9:30 am Meeting with staff 11:00 am Meeting with Crowdfund Capital Advisors: Jason Best, Principal, Crowdfund

Capital Advisors; Ryan Feit, CEO, SeedInvest, Board Member of both CFPA and CFIRA; Doug Ellenoff, Ellenoff, Grossman & Schole; Candace Klein, Somolend & CFIRA; Heather Lopes, EarlyShares & CFPA; Vince Molinari, Gate Technologies & CFIRA; Sherwood Neiss, CCA & CFPA; DJ Paul, CFIRA; Chris Tyrell, ASSOB & CFIRA; Sara Hanks, Crowdcheck & CFIRA

12:00 pm Meeting with staff 12:30 pm Meeting with Jon Rymer, Inspector General, Federal Deposit Insurance

Corporation (FDIC) 1:00 pm Meeting with staff

Sunday, June 30, 2013

12:15 pm Phone call with Jack Lew, Secretary, Department of the Treasury

Monday, July 1, 2013

9:15 am Meeting with staff 9:30 am Meeting with staff 9:45 am Meeting with staff 10:30 am Phone call with Jeffrey Diermeier, Chairman, Financial Accounting Foundation

(FAF) 11:00 am Meeting with staff 12:30 pm Meeting with job applicant 1:15 pm SCI Security Clearance at the Federal Reserve Board 2:30 pm Meeting with staff 3:15 pm Meeting with staff 3:30 pm Meeting with staff 4:00 pm Meeting with Michel Prada, Chairman of the Trustees, International Financial

Reporting Standards (IFRS) Foundation 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter

Tuesday, July 2, 2013


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10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Closed Commission Meeting 12:45 pm Meeting with staff 1:30 pm Meeting with staff 2:30 pm Meeting with staff 3:30 pm Meeting with Michael McRaith, Director, Department of the Treasury, Federal

Insurance Office 4:30 pm Meeting with Commissioner Gallagher 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Paredes

Wednesday, July 3, 2013

9:30 am Meeting with staff 11:00 am Meeting with Jack Lew, Secretary, Department of the Treasury; and Gary

Gensler, Chairman, Commodity Futures Trading Commission (CFTC) 12:30 pm Meeting with staff 1:30 pm Meeting with staff 2:30 pm Phone call with Phyllis Fong, Chair, Council of the Inspectors General on Integrity

and Efficiency (CIGIE) 3:00 pm Meeting with staff

Thursday, July 4, 2013

Independence Day – Federal Holiday

Friday, July 5, 2013

Out of office


Out of office


9:00 am Meeting with staff 11:00 am Meeting with Representative Darrell Issa 1:00 pm Meeting with staff 1:15 pm Meeting with staff 2:15 pm Phone call with Representative Jose Serrano

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2:30 pm Meeting with staff 3:00 pm Phone call with Chairman Ander Crenshaw 3:15 pm Meeting with Commissioner Walter 4:00 pm Meeting with the Financial Services Roundtable: Tim Pawlenty, President and

CEO; Scott Talbott, Senior Vice President of Public Policy; Felicia Smith, Counsel; and Dale Brown, President

5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Paredes


10:00 am Open Meeting 12:30 pm Meeting with Moody’s Corporation: Raymond McDaniel, CEO; John Goggins,

General Counsel; and Jamie Kogan, Deputy General Counsel 1:15 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with staff 3:00 pm Meeting with staff 4:00 pm Closed Commission Meeting 5:00 pm Meeting with Commissioner Gallagher


10:30 am Meeting with staff 11:00 am Meeting with BlackRock: Barbara Novick, Vice Chairman; and Matthew J.

Mallow, Senior Managing Director 12:30 pm Meeting with staff 1:30 pm U.S.‐China Strategic and Economic Dialogue Meeting, Department of the

Treasury 4:00 pm Speaking engagement at International Institute for Compliance and Examinations 4:30 pm Meeting with staff 5:00 pm Phone call with Congressman Scott Garrett 5:15 pm Meeting with Commissioner Aguilar 6:00 pm Phone call with Senator John Hoeven


9:30 am Meeting with staff 10:00 am Meeting with staff 10:15 am Meeting with staff 11:30 am Meeting with staff 12:00 pm Meeting with staff 12:15 pm Meeting with staff

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12:30 pm Meeting with staff 1:30 pm Phone call with Congressman Spencer Bachus


9:30 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with staff 12:30 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Meeting with staff 3:30 pm Meeting with Ernst & Young: Steve Howe, Director, US Firm and the Americas;

and Mark Weinberger, Global Chairman 4:30 pm Meeting with the European Commission: Michel Barnier, Commissioner;

Bertrand Dumont, Cabinet; Chantal Hughes, Spokesperson; Nadia Calvino, Deputy Director‐General of DG MARKT; Petr Wagner, Administrator of DG MARKT; Peter Kerstens, First Counselor, Delegation of the EU; and Gérard Francois, Interpreter

5:30 pm Meeting with Commissioner Walter


9:00 am Meeting with staff 11:00 am Meeting with staff 11:30 am Meeting with staff 1:00 pm Financial Stability Oversight Council (FSOC) Principals Meeting 3:30 pm Interview with Maria Bartiromo, Anchor, CNBC Closing Bell 4:15 pm Meeting with the ECON Delegation: Sharon Bowles, Chair (ALDE, UK); Pablo

Zalba Bidegain, Vice‐Chair, EPP, ES; Markus Ferber, EPP, DE; Burkhard Balz, EPP, DE; Elisa Ferreira, S&D Coordinator, PT; Arlene McCarthy, Vice‐Chair, S&D, UK; Philippe De Backer, ALDE, BE; Kay Swinburne, ECR Coordinator, UK; Jürgen Klute, GUE/NGL Coordinator, DE; Radostina Parenti, Administrator; Samuel De Lemos Peixoto, Administrator; Peter Rusz, Advisor (S&D); Philip Drauz, Advisor (ALDE)

5:10 pm Meeting with staff 6:00 pm Meeting with Commissioner Paredes


10:00 am Meeting with staff 12:30 pm Meeting with staff 2:00 pm Meeting with Congresswoman Terri Sewell 3:30 pm Meeting with staff 4:00 pm Meeting with staff

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10:30 am Meeting with staff 11:30 am Meeting with staff 1:45 pm Meeting with staff 2:00 pm Closed Commission Meeting 4:00 pm Meeting with National Society of Compliance Professionals: Charles Senatore,

Head of Corporate Compliance at Fidelity Investments; Joan Hinchman, Executive Director, President and CEO; Pamela K. Ziermann, Senior Vice President; Craig R. Watanabe, Chief Compliance Officer, Penniall & Associates, Inc.


9:00 am Meeting with staff 9:30 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with Cynthia Glassman, former SEC Commissioner and Senior Research

Scholar at George Washington University 1:00 pm Meeting with staff


10:00 am Meeting with staff 12:30 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Financial Stability Oversight Board (FinSOB) Principals Teleconference Meeting 3:00 pm Meeting with staff 3:30 pm Meeting with Congressman Hurt 4:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter


9:00 am Meeting with staff 10:00 am Meeting with Standard & Poor’s: Douglas Peterson, President; Courtney

Geduldig, Vice President, Global Regulatory Affairs; Adam Schuman, Executive Managing Director & Chief Legal Officer; Justin Daly, Adviser, Daly Consulting Group LLP

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11:00 am Meeting with Commissioner Gallagher 1:30 pm Meeting with staff 2:30 pm Meeting with staff 3:30 pm Meeting with Japan Financial Service Agency: Masa Kono, Chairman; and

Megumi Fukuoka, Section Chief of the Corporate Accounting and Disclosure Division

4:30 pm Meeting with staff 5:15 pm Phone call with Senator Jeff Merkley 5:45 pm Meeting with Commissioner Paredes 6:30 pm Phone call with Congresswoman Carolyn Maloney


11:00 am Meeting with staff 11:15 am Meeting with staff 11:30 am Meeting with Alan Beller, former SEC Director of the Division of Corporation

Finance and Partner at Cleary Gottlieb Steen & Hamilton, LLP 12:30 pm Meeting with James Doty, Chairman, Public Company Accounting Oversight

Board (PCAOB) 3:00 pm Meeting with Council of Institutional Investors’ Board: Anne Sheehan, Director,

Corporate Governance, California State Teachers’ Retirement System; Jay Chaudhuri, Department of the State Treasurer, General Counsel & Senior Policy Advisor, North Carolina Retirement Systems; Pat O’Neill, Executive Vice President, United Food and Commercial Workers International Union; Carol Nolan Drake, Chief External Affairs Officer, Ohio Public Employees Retirement System; Jane Hamblen, Chief Legal Counsel, Wisconsin Investment Board; David Kushner, Chief Investment Officer, Los Angeles County Employees Retirement Program; Gianna McCarthy, Director, Corporate Governance, New York State Common Retirement Fund; Michael McCauley, Senior Investment Officer, Programs & Governance, Florida State Board of Administration; Meredith Miller, Chief Corporate Governance Officer, UAW Retiree Medical Benefits Trust; Anne Simpson, Senior Portfolio Manager, California State Public Employees Retirement System; Dannette Smith, Secretary to the Board, United Health Group; Theresa Whitemarsh, Executive Director, Washington State Investment Board; Carin Zelenko, Director, Capital Strategies Department, International Brotherhood of Teamsters; John Abraham, American Federation of Teachers; Jim Blau, United Food and Commercial Workers International Union; Dan Pedrotty, American Federation of Teachers; Kate Sandboe, Washington State Investment Board; Ann Yerger, Executive Director, Council of Institutional Investors; Amy Borrus, Deputy Director, Council of Institutional Investors; Jeff Mahoney, General Counsel, Council of Institutional Investors; Marie Brodmerkel, Chief of Operations, Council of Institutional Investors

3:45 pm Meeting with Senator Mike Crapo

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4:30 pm Meeting with staff 5:15 pm Meeting with staff 5:45 pm Meeting with staff


9:30 am Speaking Engagement at the SEC Graduate Program 10:00 am Meeting with Federal Deposit Insurance Corporation (FDIC): Penny Bouknight;

Daniel Bendler; and Ira Kitmacher 11:00 am Investor Advisory Committee Meeting 2:00 pm Closed Commission Meeting 3:00 pm Meeting with Commissioner Aguilar 4:00 pm Meeting with staff 4:30 pm Meeting with staff 4:45 pm Meeting with staff


9:00 am Meeting with Jean Eaglesham, Reporter, Wall Street Journal 9:20 am Meeting with staff 10:00 am Meeting with Senator Carl Levine 10:50 am Meeting with staff 11:00 am Phone call with Senator Tim Johnson 11:30 am Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff


10:00 am Meeting with Federal Reserve Board of New York: William Dudley, President; and Thomas Baxter, General Counsel

11:00 am Meeting with Jennifer Shasky, Director, Financial Crimes Enforcement Network (FinCEN), Department of the Treasury

12:30 pm Meeting with staff 4:00 pm Meeting with UK Financial Conduct Authority (FCA): Martin Wheatley, Chief

Executive; and David Lawton, Director of Markets 5:30 pm Meeting with Commissioner Walter


10:00 am Hearing before the Senate Banking Committee 1:30 pm Meeting with staff

24

2:30 pm Meeting with staff 3:00 pm Meeting with Treasury Borrowing Advisory Committee: Curtis Arledge, Chief

Executive Officer, BNY Mellon Asset Management; Jason Cummins, Director, Economic Research, Brevan Howard Asset Management LLP; Dana M. Emery, Co‐President and Director, Fixed Income; Derek Kaufman, Director, Global Fixed Income; Jon Kinol, Managing Director, Investment Banking Division, Credit Suisse; Carey Lathrop, Managing Director, Global Credit Markets, Citigroup; Walter J. Mueller III, Chief Investment Officer, Bank of America; Ruth Porat, Chief Financial Officer and Executive Vice President, Morgan Stanley; Steve Rodosky, Managing Director, PIMCO (Newport Beach); Stuart Spodek, Managing Director, Multi‐Sector and Mortgages Group, BlackRock; Richard Tang, Head, FI Sales; Ashok Varadhan, Vice Chairman, TBAC; Stephen Walsh, Chief Investment Officer, Western Asset Management Company; and Matt Zames, Chairman, TBAC

4:00 pm Meeting with Commissioner Paredes 5:00 pm Meeting with staff


10:00 am Meeting with staff 11:00 am Meeting with staff 12:45 pm Meeting with Senator Warren 1:30 pm Phone call with Jim Quigley, Trustee, International Financial Reporting Standards

(IFRS) Foundation 2:00 pm Meeting with staff 3:00 pm Meeting with Roderick Hills and Harvey Pitt, former SEC Chairmen 5:30 pm Meeting with Financial Accounting Foundation (FAF): Jeffrey Diermeier,

Chairman; Teresa Polley, President and Chief Executive Officer; and John Brennan, Past Chairman, Board of Trustees

Thursday, August 1, 2013

10:30 am Phone call with Professor David Ruder, Professor, Northwestern Law School 11:30 am Meeting with staff 12:00 pm Meeting with staff 12:30 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Closed Commission Meeting 3:00 pm Meeting with Commissioner Aguilar 4:00 pm Phone call with Donald Nicolaisen, former SEC Chief Accountant

Friday, August 2, 2013

25

9:30 am Phone call with Sir David Tweedie, former Chairman of the International Accounting Standards Board (ASB)

10:00 am Meeting with Nomura Holding America: David Findlay, President CEO; David Leibowitz, Board Member; and Mark Schuermann, Executive Director of Public Affairs

11:00 am Meeting with CalPERS: Anne Stausboll, Chief Executive Officer; Anne Simpson, Director of Global Governance; Donald Marlais, Vice President, Lussier, Gregor, Vienna & Associates; and Tom Lussier, President, Lussier, Gregor, Vienna & Associates

12:00 pm Phone call with John Rogers, President and CEO, CFA Institute 12:30 pm Interview with the Nicholas Lemann, Reporter, New Yorker

Monday, August 5, 2013

3:15 pm Meeting with staff 4:00 pm Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC) 4:15 pm Meeting with staff 5:00 pm Meeting with staff 5:30 pm Meeting with Commissioner Walter

Tuesday, August 6, 2013

9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with Bill McNabb, Chairman, Vanguard 11:30 am Meeting with staff 12:30 pm Phone call with Tory Newmyer, Reporter, Fortune 1:00 pm Meeting with staff 3:00 pm Meeting with Jack Lew, Secretary, Department of the Treasury 5:00 pm Meeting with staff

Wednesday, August 7, 2013

12:30 pm Phone Call with Arthur Levitt, former SEC Chairman 1:00 pm Meeting with Commissioner Gallagher 3:00 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with Commissioner Stein


26

10:35 am Meeting with staff 10:45 am Meeting with Mark Carney, Governor, Bank of England 11:00 am Meeting with Securities Investor Protection Corporation (SIPC): Sharon Bowen,

Acting Chair; Stephen P. Harbeck, President; and Josephine Wang, General Counsel

12:00 pm Meeting with staff 1:00 pm Meeting with staff 2:10 pm Closed Commission Meeting


11:00 am Meeting with the Government Accountability Office: Gene Dodaro, Comptroller General; and Orice Williams, Managing Director of Financial Markets and Community Investment

12:00 pm Meeting with staff 12:45 am Meeting with staff


7:00 am Meeting with the Financial Stability Board (FSB) Steering Committee 3:45 pm Phone call with staff


11:00 am Meeting with International Financial Reporting Standards (IFRS) Foundation U.S. Trustees: Harvey Goldschmid; Heidi Miller; James Quigley; Robert Glauber; and Scott Evans


11:00 am Meeting with staff 1:00 pm Meeting with staff 2:00 pm Meeting with staff 3:00 pm Meeting with staff 4:00 pm Meeting with staff


9:30 am Meeting with staff 10:00 am Meeting with staff 11:30 am Meeting with Commissioner Stein 1:00 pm Meeting with staff

27

2:00 pm Phone call with James Freeman, Reporter, Wall Street Journal 3:00 pm Meeting with Commissioner Gallagher 5:00 pm Meeting with James Gorman, Chairman and CEO, Morgan Stanley


10:00 am Meeting with staff 10:45 am Meeting with Russell Golden, Chair, Financial Accounting Standards Board (FASB) 11:00 am Meeting with Duncan Niederauer, CEO, NYSE 12:00 pm Meeting with staff 1:15 pm Closed Commission Meeting


9:30 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with Commissioner Piwowar 11:00 am Meeting with staff 2:00 pm Meeting with the Barak Obama, President of the United States; Thomas Curry,

Comptroller, Office of the Comptroller of the Currency (OCC); Richard Cordray, Director, Consumer Financial Protection Bureau (CFPB); Edward DeMarco, Acting Director, Federal Housing Finance Agency (FHFA); Ben Bernanke, Chairman, Federal Reserve; Gary Gensler, Chairman, Commodity Futures Trading Commission (CFTC); Martin Gruenberg, Chairman, Federal Deposit Insurance Corporation (FDIC); Debbie Matz, Chairman, National Credit Union Administration (NCUA); and Jack Lew, Secretary, Department of the Treasury


Out of office


Out of office


11:00 am Phone call with staff


Out of office

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12:30 pm Phone call with staff 1:00 pm Phone call with staff 2:00 pm Financial Stability Oversight Board (FinSOB) Principals Teleconference Meeting


9:30 am Phone call with staff


Out of office


2:00 pm Closed Commission Meeting


Out of office

Monday, September 2, 2013

Labor Day – Federal Holiday

Tuesday, September 3, 2013

10:00 am Meeting with KPMG: John Veihmeyer, Chairman and CEO; Sven E. Holmes, Vice Chair‐Legal, Risk and Regulatory; and Sam Ranzilla, National Managing Partner‐Audit Quality and Professional Practice

11:00 am Meeting with Nicholas Lemann, Reporter, The New Yorker 12:00 pm Meeting with staff 1:00 pm Meeting with staff 2:00 pm Meeting with Fidelity Investments: Jonathan Chiel, General Counsel; Abby

Johnson, President, Fidelity’s Financial Services; and J.J. Johnson, Director, Fidelity’s Government Affairs Office

3:00 pm Meeting with Joe Echevarria, CEO, Deloitte LLP 4:00 pm Meeting with staff 5:00 pm Meeting with Neal Wolin, Deputy Secretary, Department of the Treasury

29

Wednesday, September 4, 2013

9:00 am Meeting with staff 10:00 am Closed Commission Meeting 11:45 am Meeting with staff 12:00 pm Meeting with Commissioner Aguilar 1:00 pm Meeting with staff 4:00 pm Meeting with Investor Advisory Committee Officers: Joe Dear; Jay Brown; Craig

Goettsch; Jean Setzfand; Anne Sheehan; Barbara Roper 5:00 pm Meeting with Commissioner Gallagher 6:00 pm Meeting with staff

Thursday, September 5, 2013

10:00 am Meeting with Domini Social Investments LLC: Lisa Gilbert, Public Citizen; Adam M. Kanzer, Managing Director & General Counsel; and Don Marlais, Vice President, Lussier, Gregor, Vienna & Associates

11:00 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Meeting with Certified Financial Planner (CFP) Board of Standards: Todd

Cranford, Director of Government Affairs; Ryan Wilson, Senior Strategic Policy Advisor, AARP; Mike Canning, Director of Policy, North American Securities Administrators Association (NASAA); Joey Brady, General Counsel, NASAA; and Valerie Mirko, Assistant General Counsel, NASAA

2:00 pm Meeting with staff 2:15 pm Meeting with Commissioner Stein 3:00 pm Meeting with Commissioner Piwowar 4:00 pm Meeting with staff 4:30 pm Meeting with Roel Campos, former SEC Commissioner and Partner, Locke Lord

LLP; Marlon Paz, Partner, Locke Lord LLP; James G. Whetzel, General Counsel, United Services Automobile Association (USAA); and Anthony Era, Jr., USAA


Friday, September 6, 2013

9:30 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with staff 11:45 am Meeting with James Kroeker, former SEC Chief Accountant

30


10:00 am Interview with Danielle Douglas, Reporter, Washington Post 10:30 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Meeting with staff 1:30 pm Meeting with staff 2:30 pm Meeting with staff 3:00 pm Meeting with staff 4:00 pm Meeting with staff


9:00 am Meeting with staff 10:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Financial Stability Oversight Council (FSOC) Principals Meeting 3:00 pm Financial Stability Oversight Council (FSOC) Principals Meeting


9:00 am Meeting with staff 9:30 am Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC) 10:00 am Meeting with Commissioner Piwowar 11:00 am Meeting with staff 1:10 pm Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with staff 2:45 pm Meeting with Commissioner Stein 3:30 pm Meeting with James Doty, Chairman, Public Company Accounting Oversight

Board (PCAOB) 4:30 pm Meeting with staff 5:30 pm Meeting with staff 6:00 pm Meeting with staff


9:00 am Meeting with SROs: Joe Ratterman, Chief Executive Officer, BATS Global Markets, Inc.; Eric Swanson, Executive Vice President, General Counsel &

31

Secretary, BATS Global Markets, Inc.; Tony McCormick, Chief Executive Officer, BOX Options Exchange LLC; Lisa Fall, Executive Vice President and Chief Legal Officer, BOX Options Exchange LLC; William Brodsky, Chairman, Chicago Board Options Exchange, Inc.; Edward Provost, President and Chief Operating Officer, Chicago Board Options Exchange, Inc.; David Herron, Chief Executive Officer, Chicago Stock Exchange, Inc.; James Ongena, Senior Vice President and General Counsel, Chicago Stock Exchange, Inc.; William O’Brien, Chief Executive Officer, Direct Edge; Thomas McManus, Chief Compliance and Regulatory Officer, Direct Edge; Gary Katz, President and Chief Executive Officer, International Securities Exchange, LLC; Michael Simon, General Counsel, Secretary and Chief Regulator Officer, International Securities Exchange, LLC; Thomas Gallagher, Chairman and Chief Executive Officer, Miami International Securities Exchange, LLC; Barbara Comly, Executive Vice President, General Counsel and Corporate Secretary, Miami International Securities Exchange, LLC; Robert Greifeld, Chief Executive Officer, NASDAQ OMX Group; Brad Peterson, Executive Vice President and Chief Information Officer, NASDAQ OMX Group; David Harris, Chairman and Chief Executive Officer, National Stock Exchange, Inc.; Susan Ameel, Chief Regulator Officer, National Stock Exchange, Inc.; Duncan Niederauer, Chief Executive Officer, NYSE Euronext; Joseph Mecane, Executive Vice President, NYSE Euronext; Richard Ketchum, Chairman and Chief Executive Officer, Financial Industry Regulatory Authority, Inc.; Robert Colby, Chief Legal Officer, Financial Industry Regulatory Authority, Inc.; Michael Bodson, President and Chief Executive Officer, The Depository Trust & Clearing Corporation; Albert Gambale, Managing Director, The Depository Trust & Clearing Corporation; Wayne Luthringshausen, Chairman and Chief Executive Officer, The Options Clearing Corporation; and Michael Cahill, President and Chief Operating Officer, The Options Clearing Corporation

2:00 pm Closed Commission Meeting 3:00 pm Meeting with staff 3:30 pm Meeting with Commissioner Aguilar 4:30 pm Meeting with staff


10:00 am Meeting with FINRA 12:00 pm Meeting with staff 12:30 pm Meeting with staff 1:00 pm Meeting with staff



32

12:30 pm Phone Call with Gary Gensler, Chairman, Commodity Futures Trading Commission (CFTC)

1:00 pm Meeting with staff 3:30 pm Meeting with The Center on Executive Compensation: Charles G. Tharp, Co‐CEO,

Center On Executive Compensation; Dennis Zeleny, Co‐CEO, Center On Executive Compensation; Timothy Bartl, President, Center On Executive Compensation; Michael L. Davis, Senior Vice President, Global Human Resources, General Mills, Inc.; Randolph H. Powers, Manager, Compensation, Benefit Plans and Policies, Exxon Mobil Corporation; and Meredith Singer, Governmental Programs Executive, IBM Corporation

4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Stein


9:00 am Meeting with staff 9:30 am Speaking Engagement at the Small Business Advisory Committee 10:00 am Meeting with Commissioner Piwowar 12:15 pm Speaking Engagement at the Leadership Council on Legal Diversity 2:00 pm Meeting with staff 2:30 pm Phone call with Congressman Spencer Bachus 3:00 pm Oral Argument


10:00 am Open Meeting 12:30 pm Phone call with Howard Wetston, Chairman, Ontario Securities Commission 12:45 pm Meeting with staff 1:30 pm Meeting with staff 2:30 pm Meeting with staff 3:00 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff 4:45 pm Meeting with staff 5:00 pm Meeting with Commissioner Gallagher


8:00 am Phone call with Louis Morisset, President and CEO, Autorite Des Marches Financiers

8:30 am Phone call with Masa Kono, Chairman, Japan Financial Services Agency 9:30 am Meeting with Private Equity Growth Capital Council (PEGCC): Michael Berk, TA

Associates; Paul Finnegan, Madison Dearborn Partners; Gordon Goldstein, Silver

33

Lake Partners; Robert Hull, Providence Equity Partners; John Jordan II, The Jordan Company; John Steven Judge, PEGCC; Thomas Kilgore, ArcLight Capital Partners; Steward Kohl, The Riverside Company; Adam Levine, TPG Capital; David Marchick, The Carlyle Group; Christian McGrath, GTCR; Ken Mehlman, Kohlberg Kravis Roberts & Co.; Jason Mulvihill, PEGCC; Paul Queally, Welsh Carson Anderson & Stowe; Peter Rose, The Blackstone Group; John Suydam, Apollo Management; Mark Trenowski, Madison Dearborn Partners; David Vise, New Mountain Capital; Jennifer Colfelt, PEGCC; and Langston Emerson, PEGCC

11:00 am Closed Commission Meeting 12:00 pm Meeting with Commissioner Aguilar 2:30 pm Phone call with Gregg Medcraft, Chair, Australian Securities and Investment

Commission (ASIC) and the Chair of the IOSCO Board 3:00 pm Financial Stability Oversight Board (FinSOB) Principals Teleconference Meeting


10:30 am Meeting with Steven Maijoor, Chair, European Securities and Markets Authority

Saturday, September 21, 2013

6:00 pm Phone call with Peter Cook, Reporter, Bloomberg


4:00 pm Phone call with staff 5:00 pm Phone call with Commissioner Stein


9:05 am Speaking Engagement at the Bloomberg Market’s 50 Summit 1:00 pm Phone call with staff 1:30 pm Phone call with Commissioner Gallagher


10:00 am Closed Commission Meeting 11:30 am Meeting with the Women, Influence & Power in Law Panel: Monique Ruff‐Bell;

Sara Moss; Lloyd Johnson; and Alesandra Barreiro 11:45 am Meeting with staff 12:30 pm Meeting with staff 2:30 pm Meeting with staff 3:30 pm Meeting with staff

34

4:00 pm Meeting with staff 4:30 pm Meeting with staff 4:45 pm Meeting with staff 7:00 pm Speaking Engagement at the Financial Services Roundtable 2013 Fall Conference


9:00 am Speaking Engagement at the Council of Institutional Investors (CII) 2013 Fall Meeting


9:30 am Speaking Engagement at the Chief Enforcement Conference 11:00 am Speaking Engagement for Corporate Counsel Women of Color Annual

Conference 12:00 pm Meeting with staff


9:15 am Meeting with staff 9:30 am Meeting with staff 10:30 am Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC); and Daniel Tarullo, Governor, Federal Reserve Board 11:00 am Meeting with staff 11:30 am Meeting with staff 12:30 am Meeting with Better Markets: Dennis Kelleher, President and CEO; Steve Hall,

Securities Specialist; and Katelynn Bradley, Attorney 2:00 pm Meeting with the Department of the Treasury 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Stein 6:00 pm Meeting with staff

Tuesday, October 1, 2013

9:00 am Meeting with staff 1:30 pm Meeting with HSBC: Patrick Nolan, CEO, HSBC Global Banking and Markets

(Americas); Mark Steffensen, Managing Director and General Counsel, HSBC Securities (USA); Christine Calarco, Head of Regulatory Change, HSBC Securities (USA); Tom Rosenkoetter, VP, Federal Public Policy, HSBC Bank USA; and Jeff Diehl, Vice Chairman US Public Sector Banking, HSBC Global Banking and Markets

2:30 pm Meeting with staff 3:00 pm Meeting with staff

35

3:30 pm Meeting with Commissioner Piwowar 4:30 pm Meeting with the Bond Dealers of America: Larry Bowden, Executive Vice

President, Stephens, Inc., Little Rock, AR; Brian Brennan, National Sales Manager, Fixed Income Group, KeyBanc Capital Markets, Cleveland, OH; John Crawford, Executive Vice President, Strategic Products and Services, Vining Sparks, Memphis, TN; Steve Genyk, Managing Director, Head of Fixed Income Capital Markets; Janney Montgomery Scott, Philadelphia, PA; Mike Nicholas, Chief Executive Officer, BDA, Washington, DC; Calvin Sullivan, Chief Strategy Officer, Raymond James & Co., Memphis, TN; Marty Vogtsberger, Managing Director, Fifth Third Securities, Cincinnati, OH; and Brad Winges, Vice Chair and Head of Fixed Income Services, Piper Jaffray, Minneapolis, MN

Wednesday, October 2, 2013

1:45 pm Speaking Engagement at the Security Traders Association’s Annual Conference 3:00 pm Phone call with Howard Weston, Chairman, Ontario Securities Commission 4:30 pm Meeting with staff 5:00 pm Meeting with Commissioner Gallagher

Thursday, October 3, 2013

8:30 am Speaking Engagement at the Women, Influence & Power in Law Conference 10:30 am Closed Commission Meeting 6:00 pm Speaking Engagement at the 14th Annual A.A. Sommer, Jr. Lecture

Friday, October 4, 2013

12:00 pm Phone call with staff 12:30 pm Phone call with staff

Monday, October 7, 2013

12:00 pm Meeting with Commissioner Paredes 2:00 pm Meeting with staff 3:00 pm Meeting with staff 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Stein


9:00 am Meeting with staff 10:00 am Oral Argument

36

1:00 pm Meeting with Greg Gilman, President of Chapter 293, NTEU 2:00 pm Post‐Argument 3:00 pm Meeting with staff 4:00 pm Phone call with Financial Stability Oversight Council (FSOC) Principals


10:00 am SEC News Event to Launch Market Regulation Website 1:00 pm Speaking Engagement at the Securities Docket’s Securities Enforcement Forum 2:15 pm Meeting with Commissioner Piwowar 4:05 pm Meeting with staff 4:15 pm Meeting with the European Commission: Jonathan Faull, Director General,

Internal Market and Services; Michaela Chen, Senior Trade Advisor, Delegation of the European Union; and Sven Gentner, Counselor, Delegation of the European Union

5:00 pm Meeting with Commissioner Gallagher


10:00 am Meeting with staff 10:45 am Meeting with staff 11:00 am Meeting with job applicant 12:45 pm Meeting with staff 1:00 pm Meeting with Hans Hoogervorst, Chairman, International Accounting Standards

Board (IASB); and Yeal Almog, Executive Director, International Financial Reporting Standards (IFRS) Foundation

2:00 pm Closed Commission Meeting 2:45 pm Meeting with Commissioner Aguilar 4:00 pm Meeting with job applicant 5:00 pm Meeting with staff


8:50 am Meeting with staff 9:00 am Meeting with Commissioner Stein 10:00 am Meeting with staff 11:00 am Meeting with Japan Financial Services Agency: Masa Kono, Chairman; and Rie

Fukushi, Section Chief 12:00 pm Meeting with Mary Schapiro, former SEC Chairman 12:10 pm Meeting with Al‐Thani, Governor, Qatar Central Bank 12:20 pm Meeting with job applicant 1:30 pm Meeting with Svein Andresen, Secretary General, Financial Stability Board (FSB)

and Mark Carney, Governor, Bank of England

37

1:45 pm Meeting with the Regulatory Roundtable


Columbus Day – Federal Holiday


8:00 am Speaking Engagement at the National Association of Corporate Directors (NACD) 2013 Annual Conference

11:00 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC); Daniel Tarullo, Governor, Federal Reserve Board; and Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)

2:00 pm Meeting with Commissioner Gallagher 3:00 pm Meeting with Chris Gibson‐Smith, Chairman, London Stock Exchange Group 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Piwowar


9:00 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with staff 11:15 am Meeting with staff 11:30 am Meeting with staff 12:00 pm Meeting with staff 2:00 pm Meeting with FINRA: Rick Ketchum, Chairman and CEO; and Bob Colby, Chief

Legal Officer 4:00 pm Meeting with Commissioner Gallagher


10:15 am Meeting with Commissioner Stein 11:00 am Meeting with job applicant 12:30 pm Meeting with staff 1:00 pm Phone call with Commissioner Aguilar 2:00 pm Closed Commission Meeting


38

9:30 am Speaking Engagement at the Managed Funds Association's Annual Hedge Fund Leadership Conference Outlook 2013


10:00 am Meeting with staff 11:00 am Meeting with staff 11:30 am Meeting with Commissioner Stein 1:45 pm Meeting with staff 3:00 pm Financial Stability Oversight Board (FinSOB) Principals Teleconference Meeting 4:00 pm Meeting with job applicant 4:30 pm Meeting with staff 5:30 pm Meeting with staff


8:30 am Speaking Engagement at the National Society of Compliance Professionals 10:00 am Meeting with staff 2:00 pm Meeting with NASDAQ: Bob Greifeld, CEO; and Ed Knight, Executive Vice

President and General Counsel 3:00 pm Meeting with Commissioner Stein 5:00 pm Meeting with Commissioner Piwowar


10:00 am Open Meeting 11:30 am Meeting with staff 3:00 pm Meeting with Jack Lew, Secretary, Department of the Treasury 4:00 pm Meeting with staff 4:15 pm Meeting with staff 5:00 pm Meeting with Commissioner Gallagher


10:00 am Meeting with staff 11:00 am Closed Commission Meeting 12:00 pm Meeting with staff 2:00 pm Meeting with the Board of the Municipal Securities Rulemaking Board 3:30 pm Meeting with staff 4:00 pm Meeting with staff 4:30 pm Meeting with staff 5:15 pm Meeting with staff

39

5:30 pm Meeting with Mary Miller, Under Secretary for Domestic Finance, Department of

the Treasury


9:30 am Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance Corporation (FDIC); Daniel Tarullo, Governor, Federal Reserve Board; and Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)

10:00 am Phone Call with Harvey Goldschmid, Trustee, IFRS 11:00 am Meeting with staff 12:00 pm Meeting with the Wall Street Journal Editors


9:15 am Phone call with staff 3:30 pm Phone call with staff


9:00 am Meeting with staff 10:30 am Meeting with staff 11:00 am Meeting with staff 1:00 am Meeting with the North American Securities Administrators Association (NASAA):

Andrea Seidt, Ohio Securities Commissioner; Russ Luculano, Executive Director; and Rick Fleming, Deputy General Counsel

2:00 pm Meeting with staff 2:30 pm Meeting with staff 3:30 pm Meeting with staff 5:00 pm Meeting with Commissioner Piwowar


9:30 am Phone call with Commissioner Aguilar 3:30 pm Phone call with staff 4:00 pm Phone call with staff 5:00 pm Phone call with Commissioner Stein 6:00 pm Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC); Governor Tarullo, Federal Reserve Board, Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)


40

10:00 am Financial Stability Oversight Council (FSOC) Principals Meeting 1:00 pm Closed Commission Meeting 2:30 pm Meeting with Commissioner Gallagher 3:30 pm Meeting with staff

Friday, November 1, 2013

9:30 am Phone call with Irvin Nathan, District of Columbia, Office of the Attorney General, Attorney General

10:00 am Meeting with Financial Accounting Foundation (FAF): Teresa Polley, President and CEO; Jeffrey Diermeier, Chairman; and Russell Golden, Chairman of FASB

11:30 am Meeting with Mark Wetjen, Commissioner, Commodity Futures Trading Commission (CFTC)

1:00 pm Meeting with Investment Company Institute: Paul Stevens, President & CEO; Karrie McMillan, General Counsel; Brian Reid, Chief Economist; Jane Heinrichs, Senior Associate Counsel

Monday, November 4, 2013

2:00 pm Meeting with Commissioner Gallagher 2:30 pm Meeting with staff 3:00 pm Meeting with Commissioner Piwowar 4:00 pm Meeting with staff

Tuesday, November 5, 2013


10:00 am Meeting with Government Accountability Office (GAO) Auditors: James Dalkin, Director, Financial Management and Assurance Unit; and Kristen Kociolek, Assistant Director

11:00 am Meeting with National Association of Insurance and Financial Advisors: John F. Nichols, MSM, CLU – President; Susan B. Waters, CEO; Gary A. Sanders, Vice President, Securities and State Government Relations; Jill Hoffman, Assistant Vice President, Federal Government Relations; John Collins, Partner, Steptoe & Johnson, LLP; John Fielding, Counsel, Steptoe & Johnson, LLP; and Scott A. Sinder, Partner, Steptoe & Johnson, LLP

Wednesday, November 6, 2013

8:45 am Speaking Engagement at Practicing Law Institute (PLI) Annual Institute

41

5:00 pm Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance Corporation (FDIC); Daniel Tarullo, Governor, Federal Reserve Board, Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)

Thursday, November 7, 2013

8:30 am Meeting with Lorin Reisner, U.S. Attorney’s Office, Southern District of New York, Chief, Criminal Division

11:30 am Meeting with Senator Barbara Mikulski 12:30 pm Meeting with staff 1:45 pm Meeting with staff 2:00 pm Meeting with staff 2:30 pm Closed Commission Meeting 3:30 pm Meeting with Commissioner Aguilar 4:30 pm Meeting with Association of the Securities and Exchange Commission Alumni,

Inc. (ASECA): Jonathan Katz, former SEC Secretary and ASECA President; Amy Goodman, Partner, Gibson Dunn and ASECA Immediate Past President; and Marti Cochran, Partner, Arnold Porter and ASECA Director



10:30 am Meeting with Commissioner Gallagher 11:30 am Meeting with staff 12:00 pm Phone call with Peter Cook, Reporter, Bloomberg


Veterans Day – Federal Holiday


8:30 am Speaking Engagement at the SIFMA Annual Meeting 3:00 pm Phone call with Commissioner Piwowar 4:00 pm Phone call with staff


9:00 am Meeting with staff 10:00 am Meeting with Congressman Bill Posey

42

1:00 pm Meeting with IntercontinentalExchange Group: Jeffrey Sprecher, CEO; Jonathan Short, General Counsel; Peter Roberson, Vice President of Government Relations; Alex Albert, Vice President of Government Affairs

2:00 pm Meeting with staff 3:15 pm Phone Call with Howard Wetston, Chair, Ontario Securities Commission 4:00 pm Meeting with Charles Schwab Advisor Services: Bernie Clark, Executive Vice

President; Jeff Brown, SVP of Legislative and Regulatory Affairs; and Christopher Gilkerson, Deputy General Counsel

5:00 pm Meeting with Commissioner Gallagher 5:45 pm Meeting with staff


11:00 am Meeting with Goldman Sachs: Gary Cohn, President and COO; John F. Rogers, Executive Vice President; Michael Pease, Co‐Head of the Office of Government Affairs

12:00 pm Meeting with Commissioner Stein 1:00 pm Speaking Engagement at the Veteran's Day Event 2:00 pm Closed Commission Meeting 3:00 pm Phone call with Commissioner Aguilar 5:00 pm Speaking Engagement at the 5th Annual Flannery Lecture


9:00 am Meeting with staff 10:00 am Meeting with Society of Corporate Secretaries and Governance Professionals:

Kenneth Wagner, Past Society Chair, VP, Assistant General Counsel, Assistant Secretary & Chief Compliance Officer, Peabody Energy Corp; Darla Stuckey, Senior Vice President, Policy & Advocacy, Society; Wendi Bickett, Society Chair, Assistant Corporate Secretary, Enterprise Products Partners LP; Paul Washington, past Society Chair, Senior Vice President, Deputy General Counsel & Corporate Secretary, Time Warner Inc.; Doug Chia, Society Chair‐Elect, Assistant General Counsel & Corporate Secretary, Johnson & Johnson; Bob Lamm, Chair of Securities Law Committee, Senior Fellow, The Conference Board Governance Center (formerly of Pfizer); Neila Radin, former Chair of Securities Law Committee, Senior Vice President & Associate General Counsel, JP Morgan Chase

10:45 am Interview with Andrew Ackerman, Reporter, Wall Street Journal 11:45 am Meeting with the Greenlining Institute: Orson Aguilar, The Greenlining Institute;

Sasha Werblin, The Greenlining Institute; Aysha Pamukcu, The Greenlining Institute; Natalie Cole, Our Weekly; Robert Apodaca, ZenZen Advisors; George Dean, Greater Phoenix Urban League; Willis White, Allen Temple Baptist Church; Cynthia Amador, Azul; Robert Benson, Black Business Association; Hyepin Im, Korean Churches for Community Development; Ortensia Lopez, El Concilio of San

43

Mateo County; Howard Hernandez, American GI Forum; Steven Figueroa, Inland Empire Latino Coalition; Olga Talamante, Chicana/Latina Foundation; Alexie Ochola, La Maestra Family Clinic; Mayra Bautista, Hispanic Chamber of Commerce, Contra Costa County; Matt Thomas, San Francisco African American Chamber of Commerce; Martha Montoya, Hispanic American Growers Association; Ron Fong, Asian Pacific Islander Small Business Program; Tunua Thrash, West Angeles CDC; Tate Hill, Fresno Metro Black Chamber; Al Pina, Florida Minority Community Reinvestment Coalition; Jose Pecho, NaFFA; and Kristina M. Dixon, OMWI Working Group Member

12:45 pm Meeting with staff 1:00 pm Meeting with Financial Executives International: Marie Hollein, President and

CEO and Kelli McMorrow, Senior Manager of Government Affairs


10:30 am Phone call with staff 6:00 pm Phone call with staff


9:00 am Meeting with staff 10:00 am Meeting with Sheila Bair, Senior Adviser, The Pew Charitable Trusts 11:00 am Meeting with staff 11:30 am Meeting with staff 1:00 pm Meeting with staff 2:30 pm Phone call with David Cohen, Secretary, Department of the Treasury 3:45 pm Phone call with staff 4:00 pm Meeting with Federated Investors, Inc.: J. Christopher Donahue, President and

CEO; and John W. McGonigle, Vice Chair and Chief Legal Officer 5:00 pm Meeting with Commissioner Piwowar


10:30 am Meeting with staff 11:30 am Meeting with staff 1:15 pm Meeting with Commissioner Stein and staff 3:30 pm Meeting with Congresswoman Nita Lowey 4:30 pm Meeting with Commissioner Gallagher 5:00 pm Meeting with Commissioner Stein


44

7:30 am Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance Corporation (FDIC); Daniel Tarullo, Governor, Federal Reserve Board; and Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)

8:30 am Phone call with Staff 12:00 pm Phone call with Senator Jon Tester 2:00 pm Closed Commission Meeting 3:00 pm Meeting with staff 4:00 pm Phone call with Harvey Goldschmid, Professor of Law, Columbia Law School


10:00 am Investor Advisory Committee Meeting 11:00 am Meeting with Thomas Perez, Secretary, Department of Labor 12:00 pm Speaking Engagement at the 19th Annual International Enforcement Institute


10:00 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with Debbie Matz, Chairman, National Credit Union Association (NCUA) 2:00 pm Financial Stability Oversight Board (FinSOB) Principals Teleconference Meeting 3:00 pm Meeting with staff 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Stein


9:00 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with staff 12:00 pm Meeting with staff 1:00 pm Meeting with the Los Angeles Times: Andrew Tangel, Reporter; and Jim

Puzzanghera, Reporter 2:00 pm Closed Commission Meeting 3:00 pm Meeting with Commissioner Piwowar 4:00 pm Meeting with Barbara Novick, Vice Chairman, BlackRock


1:00 pm Phone call with Commissioner Stein


45

Thanksgiving – Federal Holiday


Out of office

Monday, December 2, 2013

4:00 pm Phone call with staff

Tuesday, December 3, 2013

9:00 am Speaking Engagement at the Transatlantic Corporate Governance Dialogue 10:00 am Meeting with staff 11:00 am Meeting with staff 1:00 pm Meeting with staff 2:30 pm Meeting with job applicant 3:00 pm Meeting with Commissioner Stein 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Piwowar

Wednesday, December 4, 2013

10:30 am Closed Commission Meeting 12:30 pm Meeting with staff 2:00 pm Meeting with job applicant 3:00 pm Meeting with Knight Capital Group: Daniel Coleman, Chief Executive Officer;

John McCarthy, General Counsel; Elizabeth King, Head of Regulatory Affairs; and Mitchell Feuer, Principal, Rich Feuer Anderson

3:30 pm Meeting with staff 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Gallagher 6:00 pm Meeting with staff

Thursday, December 5, 2013

8:00 am Meeting with Joseph Grundfest, Professor, Stanford University 9:00 am Proxy Advisory Services Roundtable

Friday, December 6, 2013

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9:45 am Meeting with staff 10:00 am Meeting with staff 10:45 am Photo Shoot with the Native American Finance Officers Association (NAFOA):

Dante Desiderio, Executive Director; Tashina Etter, Deputy Executive Director; Jennifer Parisien, Director of Events & Resource Development; and Josh MacFarlane, NAFOA

11:00 am Speaking Engagement at the Native American Heritage Month Event 12:15 pm Meeting with James Doty, Chairman, Public Company Accounting Oversight

Board (PCAOB) 1:40 pm Phone call with Martin Gruenberg, Chairman, Federal Insurance Deposit

Corporation (FDIC); Daniel Tarullo, Governor, Federal Reserve Board; and Thomas Curry, Comptroller, Office of the Comptroller of the Currency

Saturday, December 7, 2013

5:00 pm Phone call with Greg Medcraft, Chair, Australian Securities and Investment Commission

6:00 pm Meeting with Masa Kono, Chairman, Japan Financial Services Agency


6:30 am Monitoring Board Principals Teleconference Meeting 1:30 pm Financial Stability Oversight Council (FSOC) Principals Meeting 4:00 pm Meeting with staff 4:45 pm Meeting with staff 5:30 pm Meeting with staff


5:45 pm Phone call with Congressman Scott Garrett


10:00 am Meeting with staff 11:30 am Phone call with Mary Miller, Under Secretary for Domestic Finance, Department

of the Treasury 1:30 pm Meeting with staff 2:00 pm Meeting with staff 2:30 pm Meeting with staff 3:00 pm Meeting with staff

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4:00 pm Financial Statements Audit Exit Conference – Meeting with the Government Accountability Office (GAO): James Dalkin, Director, Financial Management and Assurance Unit; and Kristen Kociolek, Assistant Director, Financial Management and Assurance Unit



8:30 am Meeting with staff 10:00 am Meeting with Sylvia Burwell, Director, Office of Management and Budget 11:30 am Meeting with staff 12:00 pm Meeting with staff 12:45 pm Phone call with Congressman Michael Fitzpatrick 1:00 pm Meeting with Dominion Bond Rating Service (DBRS): Daniel Curry, President and

CEO; Mary Keogh, Managing Director of Global Regulatory Affairs; and Mari‐Anne Pisarri, Partner, Pickard and Djinis LLP

2:00 pm Closed Commission Meeting 3:00 pm Meeting with Commissioner Aguilar 4:00 pm Meeting with Jeffrey Solomon, CEO, Cowen Group Inc. 4:30 pm Phone call with Congressman Michael Fitzpatrick


9:30 am Meeting with staff 10:30 am Meeting with staff 12:00 pm Meeting with staff 12:10 pm Meeting with staff 12:20 pm Meeting with staff 12:45 pm Meeting with staff 1:00 pm Meeting with staff 1:15 pm Meeting with staff 1:30 pm Meeting with staff 1:45 pm Meeting with staff 1:55 pm Meeting with staff 2:05 pm Meeting with staff 2:15 pm Meeting with staff 2:30 pm Meeting with staff 2:45 pm Meeting with staff 3:00 pm Meeting with staff 3:15 pm Meeting with staff 3:30 pm Meeting with staff 3:45 pm Meeting with staff

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12:30 pm Meeting with staff 1:30 pm Phone call with Martin Gruenberg, Chairman, Federal Deposit Insurance

Corporation (FDIC); Daniel Tarullo, Governor, Federal Reserve Board; and Thomas Curry, Comptroller, Office of the Comptroller of the Currency (OCC)

2:00 pm Oral Argument 2:45 pm Post Argument 3:30 pm Meeting with Anne Spruill, Trustee Candidate Finalist, Financial Accounting

Foundation 4:00 pm Meeting with staff 5:00 pm Meeting with Commissioner Stein 6:00 pm Meeting with staff


8:45 am Meeting with staff 9:00 am Meeting with staff 10:00 am Meeting with staff 11:00 am Meeting with staff 11:15 am Meeting with staff 1:30 pm Meeting with staff 2:00 pm Meeting with staff 3:00 pm Meeting with Richard Berner, Director, Office of Financial Research, Department

of the Treasury 4:00 pm Phone call with Harvey Goldschmid, Professor, Columbia University and SEC

former Commissioner; and Donald Nicolaisen, Former SEC Chief Accountant 5:00 pm Meeting with Commissioner Piwowar 6:00 pm Meeting with staff


9:00 am Meeting with staff 10:00 am Open Meeting 12:00 pm Meeting with staff 12:30 pm Meeting with staff 1:00 pm Meeting with staff 2:30 pm Meeting with staff 3:00 pm Meeting with Dr. Winslow Sargeant, Chief Counsel, Small Business Association 3:30 pm Meeting with Commissioner Gallagher 4:30 pm Meeting with staff 5:15 pm Meeting with staff 6:00 pm Meeting with staff

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10:15 am Meeting with staff 10:30 am Meeting with Consolidated Audit Trail Consortium Members: Tami Schademann,

SVP, CRO, BATS Exchange, Inc; Peter Santori, EVP, CRO and COO, Chicago Stock Exchange; Alex Ryabenko, Technology Compliance Officer, Direct Edge; Robert Colby, Chief Legal Officer, FINRA; Edward Deitzel, Executive Vice President, MIAX Options; Cindy Retterer, Program Director, NASDAQ; James Brooks, Vice President of Product Development, NYSE; and Duer Meehan, Vice President and Deputy Director, FINRA

11:30 am Phone call with Senator Tom Udall 11:45 am Meeting with staff 12:00 pm Meeting with Commissioner Aguilar 1:00 pm Closed Commission Meeting 3:00 pm FinSOB meeting 4:15 pm Reception for Gary Gensler, Chairman, Commodity Futures Trading Commission 5:00 pm Meeting with staff


11:30 am Phone call with Senator Mike Johanns

Sunday, December 22, 2013





Out of office


Out of office


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Out of office


Out of office


Out of office


Out of office

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chair mary jo white public calendar, april 10, 2013 …chairmary jo white public calendar april 10,...

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